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UMANG C PATEL
UMANG PATEL, John Umang
CRD#: 6474584
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 Folsom, CA
0
Disclosures
9
Years of Experience
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State Registrations
B
California 4/14/2016
IA
Maryland 7/27/2021
IA
California 4/14/2016
B
Nevada 9/13/2022
B
Georgia 8/22/2022
IA
Nevada 9/22/2022
IA
Georgia 8/25/2022
B
Tennessee 5/23/2022
B
Maryland 7/27/2021
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/11/2015 - 01/15/2016 | WEST SACRAMENTO, CA | |
B | 07/15/2015 - 01/15/2016 | WEST SACRAMENTO, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.